DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
L•••••••• P••••••• S••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Nov 28, 2018 · 3 filings
RAUM
$6.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$6.1M as of Mar 29, 2019
Nov 28, 2018$0 then
HNW client RAUM$2.3M as of Mar 29, 2019
Nov 28, 2018$0 then
State-registered IARs (5.B.3)9 as of Mar 29, 2019
Nov 28, 20187 then
Employees (5.A)13 as of Mar 29, 2019
Nov 28, 201810 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $676,099derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $580,342derivedHNW RAUM over HNW clients
- Average account
- $64,733derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $6.1MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$3.8M62%
- High-net-worth individuals$2.3M38%
- Individual clients
- 28reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 94reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- K••• R• L••••• to M•••• F•••••••• A•••••••Aug 5, 2019 · RIA to RIA
- J•• P••• P•••••••• to M•••• F•••••••• A•••••••Aug 5, 2019 · RIA to RIA
- K•• M••••• to S•••••• W••••• P•••••••• L••Aug 5, 2019 · Other
- N••••• C•••••••• L••••• to M•••• F•••••••• A•••••••Aug 5, 2019 · RIA to RIA
- B••• L••• C••• to S•••••• W••••• P•••••••• L••Nov 20, 2018 · Other
- M•••••• K••• S••••• to S•••••• W••••• P•••••••• L••Oct 17, 2018 · Other
- Z•••••• B•••••••• to M•••• F•••••••• A•••••••Oct 17, 2018 · Other
- B••••• G••••• M•••••• to S•••••• W••••• P•••••••• L••Oct 17, 2018 · Other
- J••••••• C•• M••• to M•••• F•••••••• A•••••••Oct 31, 2017 · Other
- L•••• E• B••••• to L•••• F••• A••••••• S•••••••Oct 8, 2014 · Other
Joined, latest
- R••• L•• K••• from L•• F•••••••• L••Dec 20, 2018 · Other
- K••• R• L••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 11, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••••• C•• M••• from S•••••• W••••• P•••••••• L••Jun 17, 2015 · Other
- J•• P••• P•••••••• from S•••••• W••••• P•••••••• L••Jun 15, 2015 · Other
- Z•••••• B•••••••• from S•••••• W••••• P•••••••• L••Apr 27, 2015 · Other
- L•••• E• B••••• from S•••••• W••••• P•••••••• L••Aug 21, 2013 · Other
- M•••••• K••• S••••• from L•• F•••••••• L••Jul 11, 2012 · Other
- B••••• G••••• M•••••• from L•• F•••••••• L••Jul 11, 2012 · Other
- B••• L••• C••• from L•• F•••••••• L••Jul 10, 2012 · Other
- K•• M••••• from L•• F•••••••• L••Jul 5, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•••• F•••••••• A•••••••Aug 5, 2019 · Frisco, Tx
- 2 left for S•••••• W••••• P•••••••• L••Oct 17, 2018 · Alpharetta, Ga
- 2 joined from S•••••• W••••• P•••••••• L••Oct 31, 2017 · Frisco, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• R•••• L•• · Ownercontrolsince 03/1997 · owns 25% to 50% of M•••• F••••••••• I•••
- B••••••• D••••••• L•• · Chief Investment Officer / Chief Financial Officersince 10/2017 · owns less than 5%
- W•••• A•••••• B••••• · Chief Compliance Officer / Chief Operating Officersince 01/2019 · owns less than 5%
Entity owners
- M•••• F•••••••• G••••• L•• · Ownerdirect · owns 75% or more
- M•••• F••••••••• I••• · Ownerindirect · owns 50% to 75% of M•••• F•••••••• G••••• L••
- F•••••••• D••••••••• S••••••• L•• · Ownerindirect · owns F of M•••• F•••••••• G••••• L••
- W••••• T••••• F•••••••• H•••••••• L•• · Ownerindirect · owns F of M•••• F•••••••• G••••• L••
Related persons
Schedule D 7.A
- M•••• F•••••••• A•••••••investment adviseryRAUM $24B
Offices
Schedule D 1.F, the 25 largest
- Houston, TX2 employees
- Frisco, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 0 to 94Dec 11, 2018 to Mar 29, 2019
- Advisory employees · 4 to 6Dec 11, 2018 to Mar 29, 2019
- HNW clients · 0 to 4Dec 11, 2018 to Mar 29, 2019
- Individual clients · 0 to 28Dec 11, 2018 to Mar 29, 2019
- Financial planning clients · 101-250 to 1-10Dec 11, 2018 to Mar 29, 2019
- Discretionary RAUM · $0 to $6.1MDec 11, 2018 to Mar 29, 2019
- HNW RAUM · $0 to $2.3MDec 11, 2018 to Mar 29, 2019
- Individual RAUM · $0 to $3.8MDec 11, 2018 to Mar 29, 2019
- RAUM · $0 to $6.1MDec 11, 2018 to Mar 29, 2019
- Advisory employees · 3 to 4Nov 28, 2018 to Dec 11, 2018
- Employees · 10 to 13Nov 28, 2018 to Dec 11, 2018
- Insurance-licensed employees · 3 to 7Nov 28, 2018 to Dec 11, 2018
- State-registered IARs · 7 to 9Nov 28, 2018 to Dec 11, 2018
- Other offices · 1 to 2Nov 28, 2018 to Dec 11, 2018
Signals
1 dated events
- L•••••••• P••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Nov 28, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026